Amy Smith focuses her practice on counseling investment companies, independent trustees and investment advisers in connection with regulatory, compliance and transactional issues. Amy advises clients on a variety of investment management and securities law matters, including the formation, registration and ongoing operations of investment companies; the preparation of regulatory filings; the applicability and interpretation of federal and state securities laws; the drafting of compliance procedures and corporate policies; and various transactional matters, such as open-end and closed-end fund mergers and acquisitions. Her experience includes representing:
- Registered Investment Companies. Amy advises clients on the federal securities laws pertaining to the formation, registration and ongoing compliance of open-end and closed-end mutual funds, including interval funds, multi-manager funds and sub-advised funds. She drafts and reviews critical documents, such as registration statements on Form N-1A, Form N-2 and Form N-14; proxy statements and solicitation materials; information statements; shareholder reports; exchange listing applications; and state law filings. Amy also assists in the preparation of N-14 registration statements in connection with open-end and closed-end fund mergers and acquisitions involving both affiliated and non-affiliated funds.
- Investment Advisers. Amy participates in counseling investment advisers with respect to their obligations under federal and state securities laws. She also assists in the representation of investment management clients undertaking a corporate merger, acquisition or reorganization.
- Independent Directors. Amy assists in advising boards of directors on issues arising under the Investment Advisers Act of 1940 and the Investment Company Act of 1940, as well as various corporate governance issues.
While pursuing her law degree at Widener University School of Law, Amy worked at AstraZeneca Pharmaceuticals as a financial analyst for global research and development. Additionally, she was a member of the Trial Advocacy Honor Society.